Chile Head of Compliance

Santiago - Chile

Monthly Salary: Not Disclosed

Posted on: 30+ days ago

Vacancies: 1 Vacancy

Job Summary

The Head of Compliance is responsible for leading the compliance function and ensuring the companys adherence to all regulatory requirements particularly those set by the Financial Market Commission of Chile (CMF) and the Financial Analysis Unit (UAF) for the financial service providers under the Fintech law. The Head of Compliance will oversee the development implementation and enforcement of internal policies and procedures to mitigate compliance risks and uphold the companys regulatory obligations reputation and integrity.

Responsibilities:

Develop and implement the Companys compliance vision and strategy in alignment with overall business objectives regulatory obligations (CMF/UAF) and governance principles.
Maintain continuous compliance with all applicable local and international laws including CMF UAF and Fintech-specific regulations. Oversee timely submissions of regulatory filings licensing applications and audit responses.
Design manage and continuously improve the AML/CFT program ensuring strong controls for risk assessment transaction monitoring sanctions screening and reporting of suspicious activity.
Establish and update internal compliance policies and procedures tailored to the Chilean regulatory landscape. Ensure alignment with evolving legal risk and ethical standards.
Oversee licensing obligations for employees and the firm. Develop and monitor systems for internal control risk management and regulatory engagement to protect client and company interests.
Report regularly to the Board of Directors senior leadership and Group Compliance. Represent the Company in regulatory and legal engagements maintaining trusted relationships with the CMF UAF and other external stakeholders.
Embed a strong culture of compliance integrity and transparency across all teams. Monitor staff conduct address conflicts of interest and ensure adherence to ethical and trading standards.
Develop and implement training programs on AML/CFT compliance standards and ethics to ensure staff qualification regulatory readiness and continuous professional development.
Provide leadership coaching and development opportunities for the local compliance team. Ensure team alignment with business priorities while maintaining independence and regulatory rigor.
Partner with legal risk finance operations technology and front-office teams to integrate compliance into strategic initiatives product launches and client servicing. Ensure compliance enables - rather than hinders - innovation and commercial success.

Requirements:

Bachelors degree in Finance Law Business or a related discipline.
Minimum of 5 years experience in a compliance leadership role in the financial services industry preferably within investment space.
Strong understanding of the laws and regulations governing the financial services including the Fintech law CMF and UAF laws and regulations.
Experience in retail investments trading and/or retail financial services.
Strong analytical problem-solving and stakeholder engagement skills.
Excellent written and verbal communication skills.
Strong leadership and mentoring ability.
Capable of handling complex and non-routine compliance challenges.
High ethical standards and commitment to integrity and transparency.
Resilient under pressure and adaptable in a fast-paced environment.

Applicants are kindly requested to submit their CV in English as this version is mandatory for the recruitment process.

We may use artificial intelligence (AI) tools to support parts of the hiring process such as reviewing applications analyzing resumes or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed please contact us.

Required Experience:

Director

Responsibilities:

Develop and implement the Companys compliance vision and strategy in alignment with overall business objectives regulatory obligations (CMF/UAF) and governance principles.
Maintain continuous compliance with all applicable local and international laws including CMF UAF and Fintech-specific regulations. Oversee timely submissions of regulatory filings licensing applications and audit responses.
Design manage and continuously improve the AML/CFT program ensuring strong controls for risk assessment transaction monitoring sanctions screening and reporting of suspicious activity.
Establish and update internal compliance policies and procedures tailored to the Chilean regulatory landscape. Ensure alignment with evolving legal risk and ethical standards.
Oversee licensing obligations for employees and the firm. Develop and monitor systems for internal control risk management and regulatory engagement to protect client and company interests.
Report regularly to the Board of Directors senior leadership and Group Compliance. Represent the Company in regulatory and legal engagements maintaining trusted relationships with the CMF UAF and other external stakeholders.
Embed a strong culture of compliance integrity and transparency across all teams. Monitor staff conduct address conflicts of interest and ensure adherence to ethical and trading standards.
Develop and implement training programs on AML/CFT compliance standards and ethics to ensure staff qualification regulatory readiness and continuous professional development.
Provide leadership coaching and development opportunities for the local compliance team. Ensure team alignment with business priorities while maintaining independence and regulatory rigor.
Partner with legal risk finance operations technology and front-office teams to integrate compliance into strategic initiatives product launches and client servicing. Ensure compliance enables - rather than hinders - innovation and commercial success.

Requirements:

Bachelors degree in Finance Law Business or a related discipline.
Minimum of 5 years experience in a compliance leadership role in the financial services industry preferably within investment space.
Strong understanding of the laws and regulations governing the financial services including the Fintech law CMF and UAF laws and regulations.
Experience in retail investments trading and/or retail financial services.
Strong analytical problem-solving and stakeholder engagement skills.
Excellent written and verbal communication skills.
Strong leadership and mentoring ability.
Capable of handling complex and non-routine compliance challenges.
High ethical standards and commitment to integrity and transparency.
Resilient under pressure and adaptable in a fast-paced environment.

Applicants are kindly requested to submit their CV in English as this version is mandatory for the recruitment process.

Required Experience:

Director

Key Skills

Marketing & Promotions
Attorney At Law
Jni
Airlines
Art

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About Company

Capital.com

Enjoy online trading like never before. With Capital.com’s app, you can discover investment opportunities on leading financial markets. Access the latest trading insights at the touch of a button, as well as in-depth educational features, comprehensive financial analysis and the day’s ... View more

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